DAVID THOMAS SCHAPER is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 2300 E KATELLA AVE STE 400, ANAHEIM, CA, 92806-6049.
DAVID THOMAS SCHAPER has worked at LPL FINANCIAL LLC since May 26, 2004
Disclosure History
DAVID THOMAS SCHAPER has 4 Disclosure Event(s).
Date: September 18, 2013 Category: Customer Dispute Allegations: CUSTOMER'S SON, WITH POWER OF ATTORNEY, ALLEGES UNSUITABLE INVESTMENT IN A VARIABLE ANNUITY.
Date: November 16, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: November 20, 2002 Category: Customer Dispute Allegations: CLIENT'S DAUGHTER ALLEGES THE FINANCIAL CONSULTANT DID NOT DISCLOSE THE RISKS ASSOCIATED WITH THE INVESTMENT PURCHASED BY HER FATHER ON JULY 3, 2001. Damage Amount Requested: $16,396.74 Broker Comment: BASED UPON AN INVESTIGATION INTO THE ALLEGATIONS, IT APPEARS THE INVESTMENT PURCHASE WAS SUITABLE AND FULL AND FAIR DISCLOSURE WAS PROVIDED.
Date: October 22, 2002 Category: Customer Dispute Allegations: THE CLIENT ALLEGES THE FINANCIAL CONSULTANT DID NOT DISCLOSE THE RISK OR SALES CHARGES ASSOCIATED WITH HIS INVESTMENT PURCHASES. THESE PURCHASES WERE MADE IN JUNE, OCTOBER AND NOVEMBER OF 2001. Damage Amount Requested: $6,667.71 Broker Comment: THE INVESTIGATION INTO THE CLIENTS ALLEGATIONS INDICATES THE CLIENT WAS PROVIDED FULL AND FAIR DISCLOSURE REGARDING HIS INVESTMENT PURCHASES.
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